Jon M. Cella
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jon Michael Cella, who also goes by Jon M Cella, Jon Micheal Cella, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1994. Jon had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 1998 - October 18, 2001
D.L. CROMWELL INVESTMENTS, INC.
October 14, 1997 - March 25, 1998
BRIARWOOD INVESTMENT COUNSEL
December 19, 1996 - July 8, 1997
SAUCEDA & GRANVILLE SECURITIES, INC.
April 10, 1996 - October 10, 1996
S. D. COHN & CO., INC.
August 15, 1995 - April 12, 1996
CORTLANDT CAPITAL CORPORATION
May 13, 1994 - August 29, 1995
WILLIAM SCOTT & CO. L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
D.L. CROMWELL INVESTMENTS, INC.
CRD#: 37730 / SEC#: , 8-47938
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
